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Our Services
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| Fixed Fee FilingsSM |
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Regulators such as the Securities and Exchange Commission and state securities commissioners require that investment advisers and the funds they manage make certain filings to comply with various federal and state securities laws. To assist investment advisers and their funds with completing and submitting filings promptly and accurately, Armor Compliance now offers Fixed Fee FilingsSM.
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| Massachusetts Registration |
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| Connecticut Registration |
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| New York Registration |
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| Mock Audits |
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Armor Compliance works with investment advisers to provide the tools and support necessary to develop and maintain
robust compliance programs. Our consulting engagements range in size from small matters to comprehensive compliance consulting to best suit
our clients' needs.
Investment advisers rely upon Armor Compliance to understand their specific issues and to appropriately guide them through regulatory and
compliance issues via the following services:
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SEC registration of investment advisers
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State registration of investment advisers, including MA, CT and NY
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Fixed Fee FilingsSM, including Form ADV, Form PF, Form SLT, Form D, Forms 13D, 13F, 13G, 13H, Forms 3, 4, 5 and state blue sky filings
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Drafting compliance manuals, including codes of ethics
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Compliance trainings, including insider trading laws, pay-to-play rules and code of ethics requirements
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Advertising and marketing reviews
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Mock audits, including SEC examinations
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Terms of Use |
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